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Christopher E Vaughn

Charles Schwab & Co., Inc.

Cottonwood Heights, UT

Cave Creek, AZ

CRD 2909508

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-05-26
  • AZ RA
    APPROVED
    Since 2023-05-26

Branch Locations

6550 South Big Cottonwood Canyon Rd, Cottonwood Heights, UT 84121 • United States

Cave Creek, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Cave Creek AZ 07/1999 Present
Schwab Private Client Investment Advisory, Inc. Phoenix AZ 01/2012 05/2018
  • 07/1999 → Present
    Charles Schwab & Co., Inc.
    Cave Creek, AZ
  • 01/2012 → 05/2018
    Schwab Private Client Investment Advisory, Inc.
    Phoenix, AZ
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-09-12
S65 Uniform Investment Adviser Law Examination 1997-08-28
  • S63 Uniform Securities Agent State Law Examination
    1997-09-12
  • S65 Uniform Investment Adviser Law Examination
    1997-08-28
Other Names
  • Christopher Eric Vaughn

View on SEC IAPD

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